RECORD MANAGEMENT IN POST OFFICES

1. RECORD MANAGEMENT IN POST OFFICES

2. What is Record ? • Any written data that are made for possible future use. • Any data in electronic form (CD/DVD/Tape drive/External hard disk containing daily back ups of data) • Records are tools of management, memory of an organization and source of information. It is of utmost importance that records are well managed to improve the efficiency of any organization.

3. What is management? • Management is the process of planning & regulating of the activities involved in a particular work item of an organization

4. What is Record management? • It is a logical and practical approach to the:- • Creation of data/record, • Maintenance of data/record, • Use of data/record and • Disposal of data/record. • Records pass through three stages from its creation and active use to its final disposal.

5. WHY RECORD MANAGEMENT? • In order to comply with Government Regulations • To Reduce Legal Liability • To have control over valuable office records • Reduce Archive Size • Safety & Security of the record for the period of preservation • Protection against unauthorized access, misuse & falsification • Protection against termites, fire & natural disasters

6. Why Record management? • Effective usage of space • For future references & transactions • For Systematic storage • Orderliness for easy retrieval & keeping • back • To keep an orderly account of progress • To Facilitate preparation of statement of true condition in future • To detect errors and waste • To keep the account of records & handing • over to officers for enquiry/investigations • To facilitate weeding out process

7. Why is it necessary to retain records? • For planning and scheduling governments activities as information required for this purpose cannot be retained by human memory • Retention of record is legal requirement in certain cases • For fixing responsibility for matters coming before audit and parliament, and its committees and other public bodies • For historical value • For ensuring element of rationality • To make available needed as facts, figures, correspondence, etc., for future planning • To ensure impartial treatment to all citizens • To ensure continuity in administration • For providing evidence in cases of disputes

8. TYPES OF RECORDS MANAGEMENT MANUALLY MECHANIZED

9. FILING SORTING MAINTENANCE LIFE CYCLE OF RECORDS CREATION WEEDING OUT

10. 1 4 3 5 6 2 FILING OF RECORDS, LABELING/NUMBERING ACCOUNTING SYSTEMATIC RECORD RETRIEVAL & REFILING WEEDING OUT/DESTRUCTION PRESERVATION GENERALSECURITY Records Management Includes

11. PROBLEMS IN RECORD MANAGEMENT • The problems in the record management can be briefly classified under the following areas: • Volume • Duration • Space • Retrieval

12. VOLUME & DURATION Volume: Records when they are to be stored grow in volumes and this poses a problem in arrangement and storing. Extra care must, therefore, be taken not to store unnecessary records. Duration: Various periods for preservation of records are prescribed in the rules. They must be clearly understood and periodically old records must be weeded out.

13. SPACE & RETRIEVAL • Space: • Arrangement of records must be well organized to save space. Normally, vertical expansion for storage must be preferred so that they occupy minimum floor area. Care must be taken in deciding the shape of racks, almirahs and the like to suit the needs. • Retrieval: • Retrieval is necessary when records are required. This process must not consume lot of energy and time. Here the arrangement pattern must come to rescue as to enable to place our hand on the record required almost instantly.

14. MODERN RECORD KEEPING • Conventional methods of record keeping will have to give way to improve and conform to the growing needs and scientific advancements. • Herein comes the modern concepts of micro filming, computers to which have since been inducted in record management. • Reviewing and weeding out as per time schedule helps in better space management. • Records of permanent nature should be kept distinctly marked as "PERMANENT RECORD" so that even by mistake those are not destroyed.

15. EFFECTIVE RECORD MANAGEMENT In order that Record Management should be effective, it should serve the following objectives: i) They should serve some useful purpose lest they become waste. ii) Records should be kept in such a way that they can be retrieved quickly. iii) There should be a strict control on the growth of records even at its inception. iv) They must not be retained for longer period than required. They must not also be prematurely destroyed. v) They must be systematically arranged to help quick identification and maintenance. vi) Review and weeding must be almost constant to conserve space and cost of maintenance.

16. WRONG WAY OF KEEPING

17. CORRECT WAY OF KEEPING

18. PRESERVE RECORDS BRANCH WISE • Mail • Sorting • Delivery • Registration & Speed net • Parcel • MO • Deposit • Treasury • Sub Accounts • Savings Bank

19. Additional branches of HPO • Accounts • Admin. • Reference • SBSO • SBCO • Business mart

20. PRESERVATION OF RECORDS FOR ENQUIRY: • Whenever any investigation is being made into loss or abstraction etc., the supervising officer will order preservation of the relevant record and material objects such as SO/BO Slips, SO/BO daily accounts, HO/SO/BO summary, check slips, RB Slips and IB covers, seals, cords, labels and bags. • The PM/SPM/Record Officer should preserve them in his personal custody and see that no one has access them except with the special permission of their investigating officer. • There should not be destroyed without the permission of the Investigating Officer. • Normally after the completion of investigation or after receipt of safe delivery of the article concerned, or after cessation of final proceedings against the erring officials the records are preserved can be taken out from the almirah and mixed up with other records.

21. PRESERVATION OF RECORDS FOR ENQUIRY CONTINUED….. • Sometimes the record officers find it very difficult to get the required information from Post Office/other RMS offices regarding safe delivery or safe transmission. • When such information is not forthcoming the records will be unnecessarily piled up in the almirah resulting in shortage of accommodation. • In all such cases, review once in a month should be undertaken and notices should be issued to the office from which reply is due informing that the concerned records are under preservation and if no negative reply is received within one month from the date of receipt of this letter the records preserved will be taken out and mixed up with other records. • A copy of such notice is to be endorsed to the SSRM/SSPOs.

22. REGISTER OF RECORDS PRESERVED • The register of records, ordered to be preserved beyond the prescribed period, is to be kept by the offices. This important register should be carefully maintained and made over to the successor while handing over the charge. • The register has the following columns: • Serial Number • Case Mark and date • Authority under which records are preserved • Full particulars of records preserved • Initial of the head of the office • Authority under which records are disposed of • Date of final disposal • Initial of the head of the office • Remarks

23. PERMANENT RECORDS • The following records should not be destroyed on any account:- • Records connected with expenditure which is within the period of limitation fixed by law. • Records connected with the expenditure on projects, schemes or works not completed, although beyond the period of limitation. • Records connected with claims to service and personal matters of affected persons in the services. • Orders and sanctions of a permanent character, until revised.

24. DESTRUCTION OF RECORDS: • After the expiry of the period ,records should be torn up and sold as waste paper. The destruction should be effected in officer’s presence. • Account records should be sold at fixed period by calling tenders. If no purchaser comes forth, destroyed by fire. • Confidential records and books of Postmarks should be destroyed by fire. • Before any pay bills are destroyed, the period of temporary and officiating service as recorded in the service book of the concerned official should be verified and a note to this effect should be recorded in the service books under proper attestation. • Full details of all records destroyed from time to time should be maintained permanently.

25. DESTRUCTION REQUIRING PERMISSION • The following records should not be destroyed without special permission of the Head of the Circle: • Post Office Order Book (except in Branch Offices) • Register of undeliverable passbooks in deposit in the HO • Correspondence and documents regarding which enquiry is in progress, or connected with cases which have not been fully decided or closed • Character sheets of officials in service and of those who have absconded • Work papers, correspondence or documents regarding which enquiry is in progress, or connected with cases which have not been fully decided or closed. • [Rule 17(2) of Postal Manual Volume VII]

26. Period of preservation of records

27. Continued…

28. Period of preservation of records

29. Period of preservation of records

30. Period of preservation of records

31. Period of preservation of records

32. Record preservation under AML Act At the time of closure of account, account opening form along with KYC documents should be attached with closure voucher and transferred to SBCO

33. PRESERVATION PERIOD- HO

34. PRESERVATION PERIOD

35. PRESERVATION PERIOD

36. PROJECT ARROW SAYINGS • Take backups everyday and keep one set of backup tapes in a physically different secure location • Backup is taken according to the schedule. • Backup can be taken in CDs/DVDs, External Hard disk, Client PCs

37. SANCHAY POST • In case of Sanchay Post, 6 tapes for daily backup, 5 tapes for weekly backup, 2 tapes for fortnightly backup, 2 for monthly backup to be used. • There is provision in case of data loss for any reason the same can be retrieved by restoring the backup. • Backup data in Tapes, CDs/DVDs, External Hard disk be preserved securely. • A register of backup for data preservation be maintained and kept in the custody of Postmaster

38. Sanchay Post-SBCO • Is the backup being obtained as prescribed. • Check up whether data can be retrieved up to the previous day in the event of a system crash. •  The hard copy of the reports be preserved properly update The consolidated statement be being taken and figures are compared with the HO cashbook and they tally. • If the ledgers maintenance is discontinued see that adequate security measures have been taken as prescribed by Directorate.

39. THINGS BEYOND NORMAL RULES • In addition to the above prescribed period of preservation, Head of the Circle/Region may order the preservation for a longer period. • In cases where the loss is involved, the records should be preserved till the monetary responsibility is fixed.

40. CONCLUSION • Each official should be made accountable and responsible for keeping records of their branches. • All the data should be maintained in computer. • Back up should be obtained and a soft copy should be sent to the divisional offices. • Ensure paperless work • For better space management • Cost reduction • Easy retrieval

41. ROLE OF POSTMASTER • You are Postmaster (Manager) of the office • It is your duty and responsibility to ensure top class Record Management in your office • Remember Top class- • Creation • Filing • Sorting • Maintenance • Weeding out/destruction

42. Thank You!